-
LPL Financial Holdings, Inc. Charlotte, United StatesAre you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the ...
-
Supervisory Principal
4 weeks ago
Associate Staffing Fort Mill, United StatesThe Company · A prominent fortune 500 financial services firm with a nationwide network of independent financial advisors. This company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utili ...
-
LPL Financial Holdings, Inc. Fort Mill, United StatesAre you a team player? Are you curious to learn? Are you interested in working on meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the ...
-
Secretary - 10 Month
3 weeks ago
Charlotte-Mecklenburg Schools Charlotte, United StatesJob Number Start Date Open Date 05/30/2024 Closing Date 07/12/2024 Summary: To perform a variety of basic secretarial activities in support of technical, professional and supervisory staff within a department or school site; and to provide processing and data entry support; and ...
-
Secretary - 10 Month
3 weeks ago
Charlotte-Mecklenburg Schools Charlotte, United StatesJob Number Start Date Open Date 04/01/2024 Closing Date 07/06/2024 Summary: To perform a variety of basic secretarial activities in support of technical, professional and supervisory staff within a department or school site; and to provide processing and data entry support; and ...
-
Facilitator, Multi-Tiered System of Support
3 weeks ago
Charlotte-Mecklenburg Schools Charlotte, United StatesJob Number Start Date Open Date 05/30/2024 Closing Date 07/30/2024 JOB GOAL · The MTSS Facilitator will support all school efforts to access and use data to inform school progress toward targeted district and state priorities and annual milestones. School-based MTSS Facilitato ...
-
Truist Charlotte, United States Full timeThe position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communicatio ...
-
Oncology Research Consultant Educator
1 day ago
Atrium Health Charlotte, United StatesJob Summary · Conducts and develops all aspects of clinical, regulatory, business, and other research- related activities and documentation for clinical trials, following industry standards and applicable regulations including FDA/OHRP guidance, GCP and ICH. · Essential Functions ...
-
Director, Operations
3 days ago
Americold Logistics Charlotte, United StatesPrimary Responsibility : · Responsible for managing GMs for multiple warehouses in a designated region or geography. Partner with the Business Development organization in order to maximize customer satisfaction while driving profitability and occupancy. Evaluate and achieve custo ...
-
Principal I&C Engineer
2 weeks ago
ECNS Global Consultants PLLC Charlotte, United StatesJob Description · Job DescriptionPrincipal Instrumentation and Controls Engineer – Utility and Mission Critical Facilities Focus · Location: US-Remote · Employment Type: Full-Time · About Us: · ECNS Global Consultants is an emergent leader in digital substation, dedicated to driv ...
-
Secretary - 10 Month (24-25)
1 week ago
Public School of North Carolina Charlotte, United StatesSummary: To perform a variety of basic secretarial activities in support of technical, professional and supervisory staff within a department or school site; and to provide processing and data entry support; and to provide information and assistance to faculty, staff, students an ...
-
treasurer/bookkeeper i 23-24
2 weeks ago
Charlotte-Mecklenburg Schools Charlotte, United StatesNon Instructional/Support Services - Position - OtherJob Number Start DateOpen Date 05/03/2024Closing Date 05/31/2024JOB GOALResponsible for performing intermediate clerical and bookkeeping work in examination, analysis, and verification of accounting records in a school setting. ...
-
Treasurer/bookkeeper I 23-24
3 weeks ago
Public School of North Carolina Charlotte, United StatesJOB GOAL · Responsible for performing intermediate clerical and bookkeeping work in examination, analysis, and verification of accounting records in a school setting. Duties are varied and include maintaining bookkeeping control of funds disbursed and received, and preparing fina ...
-
Temporary Wealth Coordinator
2 weeks ago
NFP Charlotte, United StatesWho We Are · NFP is a seven-time Best Places to Work award winner in Business Insurance who has also earned the 5-Star Diversity, Equity and Inclusion (DEI) award from Insurance Business magazine and the WORK180 employer endorsement. We're a recognized Elite Agency award winner ...
-
treasurer/bookkeeper ii
1 day ago
Charlotte-Mecklenburg Schools Charlotte, United StatesJob Number Start Date Open Date 05/03/2024 Closing Date 07/01/2024 JOB GOAL · Responsible for performing intermediate clerical and bookkeeping work in examination, analysis, and verification of accounting records in a school setting. Duties are varied and include maintaining b ...
-
Senior Architect/ PM
2 weeks ago
Actalent Charlotte, United States: The Sr. Architectural Project Manager serves as a people and project leader, overseeing multiple projects and participating in marketing pursuits to ensure advantageous outcomes for both internal and external individuals.? Reporting to a Principal, you participate in business d ...
-
ESL Teacher Assistant
5 days ago
Charlotte-Mecklenburg Schools Charlotte, United StatesNon Instructional/Support Services - Position - Other · Job Number · Start Date · Open Date 05/14/2024 · Closing Date 07/12/2024 · BASIC FUNCTION: · Assists the ESL teacher or mainstream teacher by working with English language learners and providing a classroom environment ...
-
Accounting Manager
3 weeks ago
American Forest Management, Inc. Charlotte, United StatesJob Description · Job DescriptionAs a Full-time Accounting Manager in Charlotte, NC, where you'll be part of the largest forest consulting firm in the U.S. AFM values hard work, attention to detail, and a positive company culture. If you're local to Charlotte and possess 10 years ...
-
Architectural Associate Principal I
2 days ago
CPL Architects Engineers Landscape Arch & Sur Charlotte, United StatesARCHITECTURAL ASSOCIATE PRINCIPAL I · The Architectural Associate Principal I is an experienced professional capable of leading our Healthcare Practice in the Cleveland Ohio region. This individual is responsible for the implementation of our national healthcare practice strate ...
-
DSF Analyst
1 week ago
CBRE Charlotte, United StatesDSF Analyst · Job ID · 170936 · Posted · 12-Jun-2024 · Service line · Advisory Segment · Role type · Full-time · Areas of Interest · Capital Markets · Location(s) · Charlotte - North Carolina - United States of America · **About the role** · Responsible for analyzin ...
Supervisory Principal - Charlotte, United States - TalentBridge Holdings Corporation
Description
Job Overview:
We're seeking a Supervisory Principal to join our dynamic team within the Client Success Organization.
As a first-line defense function, you'll play a pivotal role in conducting due diligence reviews on prospective representatives, evaluating outside business activity and private securities transactions, and ensuring compliance with regulatory standards.
Working closely with various departments, you'll be responsible for reviewing "day one" marketing materials for new offices and providing supervisory expertise and consulting for projects and initiatives.
Responsibilities:
Conduct due diligence reviews on prospective representatives to assess suitability for joining our organization.
Review and evaluate requests for outside business activities and private securities transactions submitted by advisors.
Assess office-sharing arrangements to ensure compliance with regulatory requirements.
Review and approve "day one" marketing materials for new offices joining our organization.
Collaborate with advisors, business consultants, and internal departments to communicate compliance determinations effectively.
Provide supervisory expertise and consultation for projects and initiatives across the organization.
Assist with regulatory exams, internal investigations, and ad hoc projects as required.
What we're looking for:
We're seeking strong collaborators who thrive in fast-paced environments and are dedicated to delivering a world-class client experience.
The ideal candidate will have a minimum of 3-5 years of industry experience and hold FINRA Series 7, Series 24, and Series 63 (or 66) certifications.
Strong attention to detail, excellent problem-solving skills, and the ability to make regulatory and risk-based decisions are essential for success in this role.
Additionally, candidates with a background in business, accounting, finance, or related disciplines are preferred.Proficiency in Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio, is required, with familiarity with Salesforce and Oracle considered a plus.
#J-18808-Ljbffr
